CFTC Staff Letters
CFTC Staff Letters provides Letters from 2008 and later. For Letters published before 2008 visit the Letters Archive page.
| Description | |
|---|---|
 24-12 |
Letter Type: No-Action Division: DMO, DCR Regulation Parts: 38.8, 38.10, 38.951, 39.20, 43, 45 Tags: Reporting, Swap, Swap Data, Swaps, Event Contract, Part 43, Binary Option, Part 45 Issuance Date: Description: No-action postion with respect to Part 43 and 45 reporting, as well as related sections of Parts 38 and 39, for binary options executed on or pursuant to the rules of MIAXdx and cleared through MIAXdx. See also: Request Letter Requester(s): LEDGERX |
| 24-11 |
Letter Type: No-Action Division: DMO, MPD Regulation Parts: 2(h)(8), 5h(a)(1), 3.3, 23.150 - 23.161, 23 Subpart F, 23 Subpart I, 23 Subpart J, 37.3 Tags: Brexit Issuance Date: Description: Extension of no-action position in 22-16 issued to ensure the continued availability, following Brexit, of no-action positions under certain existing CFTC comparability determinations and exemption orders originally issued by the CFTC for EU entities, while CFTC staff undertakes an analysis of UK law in order to make appropriate recommendations of comparability or exemption to the CFTC. See also: Request Letter Requester(s): CFTC |
| 24-10 |
Letter Type: No-Action Division: DCR Regulation Parts: 22, 39 Tags: Clearing, DCO, Brexit, Cross-border Issuance Date: Description: No-action relief for EU- and UK-based DCOs. This letter replaces CFTC Letter 16-26. See also: Request Letter Requester(s): CFTC |
| 24-09 |
Letter Type: No-Action Division: DMO, DCR Regulation Parts: 38.8, 38.10, 38.951, 39.20, 43, 45 Tags: Reporting, Swap, Swap Data, Swaps, Event Contract, Part 43, Binary Option, Part 45 Issuance Date: Description: No-action postion with respect to Part 43 and Part 45 reporting, as well as related sections of Parts 38 and 39, for binary options executed on or pursuant to the rules of ForecastEx and cleared through ForecastEx. See also: Request Letter Requester(s): FCX, FCXDCO |
| 24-08 |
Letter Type: No-Action Division: DMO Regulation Parts: 43, 43.3, 45, 45.4 Tags: IBOR, Swaps, Reporting, Part 43, Part 45 Issuance Date: Description: The Commodity Futures Trading Commission’s Division of Market Oversight (DMO) and Division of Data (DOD) take a no-action position regarding certain Part 43 and Part 45 swap reporting obligations in relation to the cessation of CDOR on June 28, 2024 See also: Request Letter Requester(s): CMIC |
| 24-07 |
Letter Type: No-Action Division: DCR, MPD Regulation Parts: 1.3, 1.17, 1.20, 1.32, 1.58, 1.73, 22.2, 30.2, 30.7, 39.13 Tags: Risk Management, Separate Account Treatment Issuance Date: Description: Accordingly, the conditional no-action position with respect to Regulation 39.13(g)(8)(iii) contained in CFTC Letter No. 19-17 is now further extended until the earlier of (a) June 30, 2025 or (b) the effective date of any final Commission action relating to the Second Proposal. See also: Request Letter Requester(s): FIA |
| 24-06 |
Letter Type: No-Action Division: DMO Regulation Parts: 43, 43.4, 43.6 Tags: Block Trades, Reporting, SDR, Swap Data, Swaps, Part 43 Issuance Date: Description: DMO is extending a time-limited no-action position with respect to the compliance date for the November 25, 2020 amendments to certain rules pertaining to block sizes and cap sizes in Part 43. See also: Request Letter Requester(s): CMESDR, DTCC, ICE SDR, KOR |
| 24-05 |
Letter Type: Exemption Division: MPD Regulation Parts: 4.7 Tags: Commodity Pool, CPO, Disclosures, Exemptions, Funds, Pool Participant, Reporting Issuance Date: Description: Exemptive relief permitting a limited number of non-QEP senior employees of the CPO to be treated as QEPs, subject to several specific conditions, for purposes of investing in employee securities companies the CPO operates as 4.7 pools. See also: Request Letter Requester(s): TWO SIGMA |
| 24-04 |
Letter Type: Exemption Division: MPD Regulation Parts: 4.7(b)(3), 4.22 Tags: Annual Report, Commodity Pool, CPO Issuance Date: Description: Exemptive relief from the requirement in Regulations 4.7(b)(3) and 4.22(c) to provide an audited Annual Report and Financial Statements when liquidating a commodity pool, if the pool instead provides a combined 13-month Annual Report and Financial Statements. See also: Request Letter Requester(s): III CAP |
| 24-03 |
Letter Type: Advisories Division: DMO Regulation Parts: 30.13, 48 Tags: Foreign Boards of Trade Issuance Date: Description: Advisory on Transition to Portal Filings for Registered Foreign Boards of Trade |